Job ref no.: CT3118171-01#0043
Guotai Junan International Holdings Limited

Quality Assurance Officer, Wealth Management

Guotai Junan International Holdings Limited

Benefits
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan

Responsibilities:

  • Perform checking on order taking, suitability matching, KYC documentation;
  • Provide compliance control and regular review on compliance practice at the sales team of Wealth Management Department under the supervision of team head; and
  • Assist in identifying potential areas of compliance vulnerability and risk and execution of corrective actions.

 

Requirements:

  • Degree in Laws, Finance, Accountancy or related disciplines;
  • 2 to 3 years’ experience in compliance, legal or audit department of a financial institution; or in audit field with major clients are financial institutions;
  • Well-versed with SFO and relevant regulations, specifically relating to KYC and sales regulations is a plus;
  • Self-motivated, responsible, good analytical and problem solving skills; and
  • Good command of written and spoken English and Chinese, proficiency in Putonghua is a must.

 

We offer an attractive remuneration package to the right candidate. Interested parties please forward your full resume with availability, expected salary to [via CTgoodjobs Apply Now ] or send it to 27/F., Low Block, Grand Millennium Plaza, 181 Queen’s Road, Central, Hong Kong.

(Data collected will be kept strictly confidential and used for recruitment purpose only.) 

More job information
Job ref no. CT3118171-01#0043
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Permanent
  • Full-time
Experience
  • 2 years - 3 years
Career Level
  • Non-management level
Education
  • Degree